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RICHARD RAYMOND CARLSON
RICK CARLSON
CRD#: 4568032
IA
Investment Adviser
B
Broker
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 741 Cool Springs Blvd
SUITE 107
FRANKLIN, TN 37067
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2012 - Present (12 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2005 - 2012 (6 years)BEDWARD JONES (CRD# 250)2002 - 2005 (3 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2012 (6 years)
License(s)

State Registrations

B
Alabama 5/11/2012

B
North Carolina 5/11/2012

B
Arizona 4/10/2015

B
Ohio 5/2/2018

B
Florida 5/11/2012

B
Oklahoma 6/6/2012

B
Georgia 5/11/2012

B
Oregon 6/21/2019

B
Illinois 5/11/2012

B
Tennessee 5/11/2012

B
Kentucky 5/11/2012

IA
Tennessee 5/11/2012

B
Maryland 5/11/2012

B
Texas 5/11/2012

B
New Hampshire 9/10/2015

B
Virginia 11/27/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
741 Cool Springs Blvd SUITE 107, FRANKLIN, TN 37067
Registered with this firm since 5/11/2012

B
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
741 Cool Springs Blvd SUITE 107, FRANKLIN, TN 37067
Registered with this firm since 5/11/2012

Previous Registration(s)
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IA
05/23/2006 - 05/21/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) NASHVILLE, TN
B
10/14/2005 - 05/21/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) NASHVILLE, TN
B
09/24/2002 - 10/19/2005 EDWARD JONES (CRD#:250) ST. LOUIS, MO
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.